Position: Trade Quality Assurance Associate
Department: Wealth Management
Reporting to: Trading Manager
Overview:
As part of the dynamic trade team, the Trade Quality Assurance Associate will facilitate internal quality audits, resolve custodian margin reports, and validate trade reconciliation. Additional responsibilities include problem solving NIGO cases, identifying trends and processing paperwork to ensure accuracy of all cashiering trade activity. If you are someone who enjoys seeing a task to the very end, this job is perfect for you!
What you'll do:
- Pull and review a series of reports to ensure accuracy of all prior and current day trade activity
- Identify and process NIGO issues
- Complete custodian money movement transactions requested through trade cases
- Resolve cashiering paperwork issues with custodians
- Identify NIGO trends to reduce risk of missing or incorrect instructions, or system limitations
- Manage relationships with advisors, custodians, and internal departments to ensure professional working relationships
Experience you'll bring:
- Collective 3 years of experience in banking, financial services, or accounting
- Positive attitude while providing extraordinary customer service to Advisors, Custodians, and internal staff
- Strong organizational skills: capacity to manage a heavy workload while navigating a variety of tasks in an everchanging environment
Bonus Points:
- Brokerage/RIA industry experience
- Series 65 license
- Knowledge of brokerage, advisory and products
What you'll get:
- Amazing benefits including medical, dental, vision and 401k (with matching options)
- Generous PTO package upon your start date
- Access to an on-site cafe, gym and primary care
- Continuous personal and professional development opportunities
- Recognition for hard work & exemplary performance
- Employee sponsored events...and more!
Who We Are:
Advisors Excel is a fast paced, innovative company that seeks to service independent financial advisors in a multitude of areas within their business. From operational functions to sales and marketing, our end goal is to help continually grow advisors' businesses nationwide. We thrive on watching them succeed. Not only does AE want to see the success of our advisors, but also our employees. We have high expectations from them to continually move our business forward. We are on the hunt for positive people who thrive on hard work and in a collaborative team environment. If this sounds like you, then what are you waiting for? We want you to join our team!
Advisors Excel is an Equal Employment Opportunity Employer. Everyone is welcome here - as an inclusive workplace, our employees are always comfortable bringing their true selves to our offices daily.
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Advisors Excel
401(k)
August 07, 2023